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Treichel in Rethinking65: The SEC Is Watching Your AI Use — Is Your Firm Ready?

July 17, 2026

 

Originally published in Rethinking65 on July 17, 2026.

In the financial services industry, AI-focused apps are quickly becoming must-haves for notetaking, meeting summarization, back-office tasks and even portfolio management. While these tools can help firms operate  more efficiently, the murky regulatory environment has often left advisors treating compliance as an afterthought. This is a mistake.

 

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